Lee R. Fleischman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lee Robert Fleischman was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1983. Lee had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2004 - March 29, 2005
MATRIX U.S.A., LLC
November 4, 2004 - November 4, 2004
LAIDLAW & COMPANY (UK) LTD.
January 21, 2004 - October 29, 2004
SANDS BROTHERS & CO., LTD.
September 22, 2003 - January 21, 2004
MATRIX U.S.A., LLC
August 13, 2001 - July 23, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 3, 1999 - September 21, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 29, 1998 - May 6, 1999
UBS SECURITIES LLC
April 14, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
July 31, 1993 - April 1, 1998
CITIGROUP GLOBAL MARKETS INC.
April 22, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
August 1, 1990 - April 20, 1993
MORGAN STANLEY & CO. LLC
August 17, 1988 - August 2, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 17, 1986 - August 24, 1988
GRUNTAL & CO., L.L.C.
December 21, 1983 - February 4, 1986
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MATRIX U.S.A., LLC
CRD#: 38057 / SEC#: , 8-48088
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MATRIX CAPITAL SERVICES, LLC | DIRECT OWNER | |
| BLAUSTEIN, MICHAEL ADAM | DIRECTOR, CEO, CCO | 1732773 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
